23-00262 | 06/09/2023 | Claimant(s): Jinsong You Claimant Lawyers(s): Jinsong You Respondent(s): Fidelity Brokerage Services LLC Respondent Lawyers(s): Travis L. Salmon Arbitrator(s): Paul Lansing Hearing Site: St. Louis, MO
| | $600 |
21-02354 | 06/09/2023 | Claimant(s): Reid Nagle Revocable Trust Claimant Lawyers(s): John Fialcowitz Respondent(s): Charles Schwab & Co.., Rockingstone Advisors Respondent Lawyers(s): Gordon C. Young, John Fialcowitz Arbitrator(s): Ellen J. Abrams, Carl Henry Perdue, Mark E. English Hearing Site: Boca Raton, FL
| | $0 |
22-01599 | 06/09/2023 | Claimant(s): Jamie Grupe Claimant Lawyers(s): Dochtor Kennedy Respondent(s): LPL Financial LLC Respondent Lawyers(s): Eleonora Yonge Arbitrator(s): Tracy L. Allen Hearing Site: Minneapolis, MN
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21-02879 | 06/08/2023 | Claimant(s): Roger Squires Claimant Lawyers(s): Roger B. Squires Respondent(s): Laidlaw & Company (UK) Ltd. Respondent Lawyers(s): Richard J. Babnick Arbitrator(s): Morton S. Bunis, Edward W. Morris, Stefan Savic Hearing Site: New York, NY
| | $0 |
22-00857 | 06/08/2023 | Claimant(s): Michael Ballard Claimant Lawyers(s): Chelsea Bauer Respondent(s): Concourse Financial Group Securities, In, G.F. Investment Services Respondent Lawyers(s): Larry W. Yager, Margaret M. Siller Arbitrator(s): Michael J. Ahlstrom Hearing Site: Birmingham, AL
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22-01872 | 06/08/2023 | Claimant(s): Walter Light Claimant Lawyers(s): Walter Waitak Light Respondent(s): Integral Financial LLC Respondent Lawyers(s): Frank Ho Arbitrator(s): Helen Marinak Blohm, Timothy P. Bogan, Rosalind Ramsey Tyson Hearing Site: San Francisco, CA
| | $0 |
22-01569 | 06/08/2023 | Claimant(s): Mamadi Kourouma Claimant Lawyers(s): Mamadi Kourouma Respondent(s): Fidelity Brokerage Services LLC Respondent Lawyers(s): Noah D. Sorkin Arbitrator(s): John R. Michael, Frederick Ramos, Robert S Hendricks Hearing Site: Louisville, KY
| | $0 |
22-00821 | 06/08/2023 | Claimant(s): William Braun Claimant Lawyers(s): Zachary Morse Respondent(s): National Securities Corporation Respondent Lawyers(s): Emily A. Hayes Arbitrator(s): Louis David Huss Hearing Site: Boca Raton, FL
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22-00437 | 06/07/2023 | Claimant(s): Estate of Dolores Sarro Claimant Lawyers(s): William B. Young Respondent(s): Wells Fargo Clearing Services Respondent Lawyers(s): Jeffery D. Rodgers Arbitrator(s): Stuart K. Furman, Tyrone Nathaniel Watson Hearing Site: Orlando, FL
| | Expungement |
21-01495 | 06/07/2023 | Claimant(s): Mark Haye Claimant Lawyers(s): Kathleen Patchel Respondent(s): NYLife Securities LLC Respondent Lawyers(s): Richard F. Lubarsky Arbitrator(s): Kenneth R. Starr, Steele Thomas Williams, John Arthur Riherd Hearing Site: Tampa, FL
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